Pflueger & Baerwald Inc.

Privacy Statement

Pflueger & Baerwald is committed to protecting your personal and financial information. In the course of providing you with brokerage services, we need to collect and maintain certain nonpublic personal information about you. This Privacy Statement answers some questions about what nonpublic personal information we collect, what we do with it, and how we protect it.

When you apply for or maintain an account with us, we collect the following types of information:

  • information provided by you, such as your name, address, social security number, date of birth, employment information and financial information

  • information about your transactions with us

Pflueger & Baerwald discloses the nonpublic personal information about you described above, primarily to provide you with the financial services you seek from us. We do not disclose nonpublic personal information about former customers, except as required by law.

Pflueger & Baerwald does not disclose nonpublic personal information about you to any non-financial services company. Pflueger & Baerwald does not sell your personal information to any nonaffiliated companies for marketing purposes.

Pflueger & Baerwald discloses information to nonaffiliated companies that work for us in providing financial services to you. For example, we provide information to nonaffiliated companies that perform clearing services for us. These companies, acting on our behalf are required to keep your personal information confidential.

Finally, Pflueger & Baerwald discloses nonpublic personal information to nonaffiliated third parties as required by law. These parties include government/regulatory organizations such as the Internal Revenue Service (IRS) and the Securities and Exchange Commission (SEC). Disclosures for which you have provided your consent are also permitted.

We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard your nonpublic personal information. Access to your nonpublic personal information is limited to those employees who need to know that information to provide products or services to you, such as customer services personnel. Pflueger & Baerwald conducts internal audits of its business practices and procedures in order to protect your personal information.

Investments since 1911

Member FINRA and SIPC

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